Victim of Financial Fraud? Call Now

Susan Morse Allegedly Recommended an Unsuitable Annuity

Susan Morse (CRD #: 1129465), a broker registered with UBS Financial Services, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on May 17, 2024. Keep reading if you have questions regarding her alleged conduct. 

Investor Allegations 

On March 26, 2024, investors alleged that Susan Morse recommended an unsuitable annuity. The investor is seeking $50,000. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

  • Age
  • Risk tolerance
  • Time horizon (i.e., how long the investor plans to hold the investment)
  • Investing experience
  • Tax status
  • Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information 

Susan Morse has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 29 states and is a registered investment adviser in Florida and Texas. 

During her 40 years of experience, Susan Morse has registered with eight firms: 

  • UBS Financial Services (CRD #: 8174) 
  • Morgan Stanley (CRD #: 149777) 
  • Morgan Stanley & Co. Incorporated (CRD #: 8209) 
  • Morgan Stanley (CRD #: 7556) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • A.G. Edwards & Sons (CRD #: 4) 
  • Blinder, Robinson & Co. (CRD #: 5096) 
  • John Hancock Distributors (CRD #: 468) 

Kurta Law Can Help 

If you have worked with Susan Morse and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.